Iwasawa theory and generalizations

Kazuya Kato

Abstract. This is an introduction to Iwasawa theory and its generalizations. We discuss some
main conjectures and related subjects.

Mathematics Subject Classification (2000). Primary 11R23; Secondary 11G40, 14G10.

Keywords. Iwasawa theory, zeta function.

Zeta values are infinitely attractive objects. They appear in many areas of mathematics,
and also in physics. They lead us to the profound mysteries of mathematics.
Iwasawa theory is the best theory at present to understand the arithmetic meaning
of zeta values. Classical Iwasawa theory describes the relation between zeta values
and ideal class groups. It has been generalized to the study of the relation between
zeta values and more general arithmetic objects (rational points and Selmer groups
of elliptic curves, Galois representations, Galois cohomology groups, …). Diagram-
matically, we have

zeta values ←→ ideal class groups, Selmer groups, . . . .

(analytic objects) (arithmetic objects)

The mysterious point is that analytic objects and arithmetic objects are connected
in spite of the vast distance between their innate natures. Via zeta values, arithmetic,
algebra, analysis, geometry intersect. Deep and unexpected problems arise there.
The aim of this paper is to review some results, methods, and problems in Iwasawa
theory and its generalizations. The author regrets that he cannot cover many important
studies in this field.
The organization of this paper is as follows. In §1, we describe history. In §2, we
describe the cyclotomic Iwasawa theory of elliptic curves comparing it with classical
Iwasawa theory. In §3, we present non-commutative Iwasawa theory.
The author is very grateful to Professor John Coates for advice.

1. Overview

1.1. Euler. The study of zeta values was started by Euler. In 1735, Euler proved
1 + 1/22 + 1/32 + 1/42 + 1/52 + · · · = π 2 /6. He was happy that he solved the

Proceedings of the International Congress

of Mathematicians, Madrid, Spain, 2006
© 2007 European Mathematical Society
336 Kazuya Kato

difficult question “what is the sum of the inverses of all squares?” and also that the
answer he found (the appearance of π) was surprising.
Riemann’s zeta function ζ (s) is defined as ζ (s) = ∞ s
n=1 1/n for complex num-
bers s such that (s) > 1, and by analytic continuation, it is extended to the whole
complex s-plane as a meromorphic function which is holomorphic at any s  = 1. The
above result of Euler says that ζ (2) = π 2 /6.
Euler proved that ζ (4) = π 4 /90, ζ (6) = π 6 /945, and more generally, for any
even integer r ≥ 2, he showed that ζ (r)/π r ∈ Q. Euler did not know the theory of
analytic continuation, but he had a method to find the correct values of ζ (s) at integers
≤ 0:
ζ (0) = −1/2, ζ (r) = 0 for any even integer r < 0,
ζ (1 − r) = 2 · (r − 1)! · ζ (r)/(2π i)r ∈ Q× if r > 0 is even,
ζ (−1) = −1/12, ζ (−3) = 1/120, ζ (−5) = −1/(22 · 32 · 7),
ζ (−7) = 1/(24 ·3·5), ζ (−9) = −1/(22 ·3·11), ζ (−11) = 691/(23 ·32 ·5·7·13), . . . .
Note that the prime number 691 suddenly appears as the numerator of ζ (−11).

1.2. Kummer. In the middle of 19th century, Kummer discovered that the special
values of the Riemann zeta function have the following remarkable arithmetic proper-
ties: (1) a relation with the arithmetic of cyclotomic fields, and (2) a p-adic property.
Neither could possibly be imagined from the analytic definition of ζ (s). These dis-
coveries (1), (2) were the starting point of Iwasawa theory.
(1) Kummer’s criterion. Let p be a prime number. Then p divides the numerator
of ζ (r) for some negative odd integer r if and only if the class number of Q(ζp ) is
divisible by p.
This (1) for example shows that the class number of Q(ζ691 ) is divisible by 691
since the numerator of ζ (−11) is divisible by 691.
Recall that for a number field F (a finite extension of Q) the class number of F is
the order of the ideal class group Cl(F ) of F , which is a finite group. We recall that
the ideal class group of F is defined to be the quotient of the multiplicative group of
non-zero fractional ideals of F divided by the subgroup consisting of principal ideals.
It is the most important group in algebraic number theory. Unique factorization into
prime elements in F holds if and only if Cl(F ) = {1}, and the failure of unique
factorization in F becomes big (and the arithmetic of F becomes complicated) if
the ideal class group of F is big. Kummer tried to prove Fermat’s last theorem
by studying the arithmetic of cyclotomic fields Q(ζp ) for odd primes p (where we
denote
p by ζn a primitive n-th root of 1). The equation x p + y p = zp is rewritten as
k=1 (x +ζp y) = z in the multiplicative form, and hence the theory of multiplicative
k p

factorization in Q(ζp ) becomes important. Kummer proved that if the class number
of Q(ζp ) is not divisible by p (so that the multiplicative arithmetic of Q(ζp ) becomes
sufficiently simple), x p + y p = zp has no non-zero integral solution. This was the
Iwasawa theory and generalizations 337

most important result on Fermat’s last theorem before the complete proof of Wiles by
a different method.
Thus the ideal class group is a “bitter group” which seems to prevent the study of
the arithmetic of number fields. But the above criterion (1) of Kummer shows that
the ideal class group is in fact a “sweet group” which has a wonderful relation with
zeta values.
I add that this study of Kummer was the start of the theory of ideals which became
later important in algebraic number theory, algebraic geometry, and many areas of
mathematics.
I add also that the final solution of Fermat’s last theorem by Wiles [45] also uses
the arithmetic of zeta values (generalized Iwasawa theory) of symmetric squares of
modular forms.
(2) Kummer’s congruence. If r is a negative odd integer and r ≡ 1 mod (p − 1),
then ζ (r) ∈ Z(p) = {m/n | (n, p) = 1}. If r is also a negative odd integer and
r ≡ r mod (p − 1), then ζ (r ) ≡ ζ (r) mod p.
On the other hand, if r is a negative odd integer such that r ≡ 1 mod (p − 1),
p divides the denominator of ζ (r). Hence the results (1), (2) and the above list of
ζ (0), . . . , ζ (−11) already show that the class number of Q(ζp ) is not divisible by p
if p = 3, 5, 7, 11, 13, and hence x p + y p = zp has no non-zero integral solution for
these p according to the result of Kummer. Kummer’s congruence was generalized
later to congruences modulo higher powers of p.

1.3. Class number formula. The class number formula of Dirichlet and Dedekind
proved in the middle of 19th century is also a mysterious relationship between
 zeta
functions and ideal class groups. Let F be a number field, and let ζF (s) = a N(a)−s
((s) > 1) be the Dedekind zeta function of F , where a ranges over all non-zero
ideals of the integer ring OF of F and N(a) denotes the norm of a. Then ζF (s) has
a meromorphic analytic continuation to the whole of C and is holomorphic at s = 1.
If F = Q, then ζF (s) = ζ (s). The class number formula has the form
1 hF RF
lim ζF (s) =− .
s→0 s r1 +r2 −1 wF
Here hF is the class number of F , RF is the regulator of F (defined by using log of
units in OF ), wF is the number of all roots of 1 in F , r1 is the number of real places
of F , and r2 is the number of complex places of F .
The class number formula is the first example of many similar formulae, for
example, the Iwasawa main conjecture, the Birch and Swinnerton-Dyer conjecture,
etc., which all have the form

analytic invariant = arithmetic invariant.

1.4. Iwasawa theory. In the later half of 20th century, studies of mysterious prop-
erties of zeta values evolved into a fruitful field of mathematics, Iwasawa theory.
338 Kazuya Kato

Compared with Kummer’s criterion and class number formula, Iwasawa theory is
finer in the point that it describes not only the class number, i.e. the order of the ideal
class group, but also the action of the Galois group on the ideal class group. In fact,
one could even say that the aim of Iwasawa theory is to describe Galois actions on
arithmetic objects in terms of zeta values.
For example, as we have seen, by Kummer’s criterion, ζ (−11) = 691/(· · · )
tells that for p = 691, the ideal class group of Q(ζp ) contains a subgroup which is
isomorphic to Z/pZ. But what does −11 here mean? By Iwasawa theory (this part
is due to Ribet [35]), this −11 tells that for p = 691, as a module over the Galois
group Gal(Q(ζp )/Q), the ideal class group Cl(Q(ζp )) contains a submodule which
is isomorphic to (Z/pZ)(−11), where for r ∈ Z, (Z/pZ)(r) is a one-dimensional
representation of Gal(Q(ζp )/Q) over Z/pZ on which σ ∈ Gal(Q(ζp )/Q) such that
σ (ζp ) = ζpc (c ∈ (Z/pZ)× ) acts as the multiplication by cr .
The p-adic properties of values of the Riemann zeta function, which first appeared
in Kummer’s congruence, were summarized by Kubota and Leopoldt [24] as the
existence of the p-adic Riemann zeta function which interpolates the zeta values
ζ (r) (r ∈ Z, r ≤ 0) p-adically. Iwasawa showed that the p-adic zeta function was
essentially an element of the Iwasawa algebra, and formulated the so-called Iwasawa
main conjecture which has (roughly speaking) the form
p-adic zeta function = ideal class group with Galois action.
([20]; see 2.3.1 for the precise statement.) After efforts of Iwasawa, this conjecture
was proved by Mazur–Wiles [32].
Wiles [44] exploiting the ideas of Hida, also proved the main conjectures for totally
real fields. Moreover Rubin, using ideas of Kolyvagin, proved versions of Iwasawa’s
main conjecture for abelian extensions of imaginary quadratic fields ([37]). See, for
example, [18] for discussions of various aspects of Iwasawa theory.

1.5. Elliptic curves. Recall that an elliptic curve E over a number field F is defined
by an equation y 2 = f (x) where f (x) is a cubic polynomial over F without multiple
root. The set E(F ) = {(x, y) ∈ F ×F | y 2 = f (x)}∪{(∞, ∞)} is endowed with the
structure of an abelian group in which (∞, ∞) is the unit element, and the theorem
of Mordell–Weil shows that E(F ) is finitely generated as an abelian group.
For example, for the elliptic curve E : y 2 = x 3 + 1 over Q, if P ∈ E(Q) denotes
the point (2, 3), then 2P = P + P = (0, 1), 3P = (−1, 0), 4P = (0, −1), 5P =
(2, −3), 6P = (∞, ∞), Z/6Z −→ E(Q); n → nP . On the other hand, for the
elliptic curve y 2 = x 3 − 2, if P ∈ E(Q) denotes the point (3, 5), then Z −→ E(Q);
n  → nP .
Zeta functions come to this arithmetic world. An elliptic curve E over a number
field has its zeta function L(E, s) (called the L-function of E). For E : y 2 = x 3 + 1
and E : y 2 = x 3 − 2 over Q, the order of zero of L(E, s) at s = 1 is 0 and 1,
respectively, and is equal to the rank of E(Q) as a finitely generated abelian group.
Birch and Swinnerton-Dyer formulated the following conjecture [4].
Iwasawa theory and generalizations 339

Let E be an elliptic curve over a number field F . Then

(1) ords=1 L(E, s) = rank (E(F )).
(2) Let r = ords=1 L(E, s). Then
hE RE E τE
lim (s − 1)−r L(E, s) =
s→1 wE
where on the right-hand side, hE is the order of the Tate–Shafarevich group X(E)
of E (which is an elliptic curve analogue of the ideal class group and is conjectured
to be finite), RE is the discriminant of the height pairing, E is the period of E, wE
is the square of the order of the torsion part of E(F ), and τE is “Tamagawa factor”
which is a certain local term and is a non-zero rational number.
This is the elliptic curve version of the class number formula.
The first great result on this conjecture was obtained by Coates and Wiles [10].
Their result shows that if E has complex multiplication by an imaginary quadratic
field K and if F is Q or K, then E(F ) is finite provided that L(E, 1)  = 0.
The proof of Coates and Wiles is p-adic and was inspired by Iwasawa’s general-
ization of Kummer’s ideas. The principle of their method is that if we replace ζ (s) in
Iwasawa theory by L(E, s), then we can obtain a strong result on the relation between
L(E, s) and arithmetic.
The conjecture of Birch and Swinnerton-Dyer does not have a p-adic shape at all,
but it is often important in mathematics to watch the right-hand side (p-adic world)
of
C ⊃ R ⊃ Q ⊂ Qp ,

not only the left-hand side (Archimedean world). Zeta functions are able to travel
to the p-adic world, and to understand their relation to arithmetic, it is important to
study their lifestyles in the p-adic world by the method of Iwasawa theory.
Iwasawa theory of elliptic curves was started by Mazur, and the analogue of the
Iwasawa main conjecture for elliptic curves over Q was formulated by him (see 2.3.2,
[29]). This main conjecture is now almost proved as I will explain in § 2.
This main conjecture is for cyclotomic Iwasawa theory of elliptic curves. Iwasawa
theory of elliptic curves for anti-cyclotomic abelian extensions of imaginary quadratic
fields was developed by Bertolini and Darmon and others (see [3] for example).
Coates has led developments of non-commutative Iwasawa theory of elliptic curves
(here the Galois groups are non-commutative). The main conjecture for it was for-
mulated in Venjakob [43] and Coates et al. [8], and this will be explained in §3.

1.6. Generalizations. Iwasawa theory of motives and Iwasawa theory of modular

forms are now formulated and studied.
For motives which are of good ordinary reduction at p, main conjectures were
formulated by Greenberg [17] and Schneider [40].
340 Kazuya Kato

The conjectures of the type “R = T ” concerning Galois deformations ([31]),

which are important for the construction of non-commutative class field theory (Lang-
lands program) and for which the work of Wiles [45] was a great contribution, are
also regarded as generalizations of Iwasawa’s main conjecture.
A very general form of main conjectures in generalized Iwasawa theory is given as
equivariant Tamagawa number conjectures (these conjectures grew in Deligne [12],
Beilinson [2], Bloch–Kato [5], Fontaine and Perrin-Riou [15], Perrin-Riou [34], Kato
[21] for commutative Iwasawa theory of motives, and then in Burns–Flach [7], Huber–
Kings [19] for non-commutative Iwasawa theory of motives). In the formulation of
equivariant Tamagawa number conjecture, the worlds through which zeta functions
travel are extended as C ⊃ R ⊃ Q ⊂ Qp ⊂ BdR , where BdR is the field of p-
adic periods defined by Fontaine, which plays the role of complex numbers in p-
adic Hodge theory (thus zeta functions now travel through Hodge theory and p-adic
Hodge theory). The main conjecture presented in [19] in the previous ICM however
did not involve p-adic zeta functions. The main conjecture in [43], [8] explained
in § 3 involves p-adic zeta functions. The compatibility of this conjecture with the
equivariant Tamagawa number conjecture is shown in [16].
In what follows, for the simplicity of description, we consider only Iwasawa
theory for zeta functions associated to number fields and for zeta functions associated
to elliptic curves. See [34], [16] etc. for more general motives.

2. Cyclotomic theory
We consider cyclotomic Iwasawa theory of elliptic curves, comparing it with classical
Iwasawa theory. When we consider classical theory (resp. theory for elliptic curves),
we will say that we are in Case I (resp. Case II). In Case II, assume we are given an
elliptic curve E over Q. Let p be a prime number. For simplicity of the description
of the theory, we assume p = 2, and in Case II we assume that E has good ordinary
reduction at p.

2.1. Arithmetic side

2.1.1. Iwasawa algebras. For a profinite group G, the completed group ring Zp [[G]]
is defined to be the inverse limit limU Zp [G/U ] of the usual group rings Zp [G/U ]
← −
where U ranges over all open normal subgroups of G. In the case G = Gal(L/F ) for
a Galois extension L of a number field F , the ring Zp [[G]] = limF Zp [Gal(F /F )],
← −
where F ranges over all finite Galois extensions of F contained in L, is often called
the Iwasawa algebra.
Let

Q(ζp∞ ) = Q(ζpn ), Q(ζp∞ )+ = Q(ζp∞ ) ∩ R,
n≥1
+
G = Gal(Q(ζ p∞ ) /Q) in Case I, G = Gal(Q(ζp∞ )/Q) in Case II.
Iwasawa theory and generalizations 341

Let  = Zp [[G]]. Then in Case I (resp. II),  is isomorphic to the product of

(p − 1)/2 (resp. p − 1) copies of the ring Zp [[T ]] of formal power series in one
variable over Zp .
2.1.2. Iwasawa modules. Modules over Iwasawa algebras having arithmetic impor-
tance are often called Iwasawa modules, for Iwasawa first studied such modules in
his papers. We define an Iwasawa module X over  as follows.
First assume that we are in Case I. Let X = Gal(M/Q(ζp∞ )+ ) where M is the
largest abelian pro-p extension of Q(ζp∞ )+ in which any prime number different
from p is unramified. Then G acts on X via inner automorphisms, and by this
action X is regarded as a -module.
This module X can also be expressed in terms of ideal class groups as
X Hom (limn Cl(Q(ζpn ))− , (Qp /Zp )(1)).
−→
Here Cl(Q(ζpn ))− is the part of Cl(Q(ζpn )) on which the complex conjugate acts as
−1, and (Qp /Zp )(1) denotes the group of all roots of 1 of p-power orders. This
isomorphism is deduced from Kummer theory. It preserves Galois actions (on the
right-hand side, an element σ of Gal(Q(ζp∞ )/Q) acts as h  → σ  h  σ −1 ). By this
isomorphism and by the finiteness of the ideal class groups, we can show that X is a
finitely generated torsion -module (“torsion” means that each element of X is killed
by some non zero-divisor in ).
2.1.3. Next assume that we are in Case II. For a number field K, we have an exact
sequence
0 → E(K) ⊗ Q/Z → Sel(E/K) → X(E/K) → 0.
Here Sel(E/K) is the Selmer group of E over K which is a certain subgroup of
the Galois cohomology group H 1 (Gal(K/K), E(K)tor ), where K is the algebraic
closure of K (= the algebraic closure of Q) and E(K)tor denotes the torsion part of
E(K). It is conjectured that the Tate–Shafarevich group X(E/K) is always finite.
Define
X = Hom (limn Sel(E/Q(ζpn )), Qp /Zp ).
−
→
Then X is regarded as a -module via the natural action of G on it. It is a finitely
generated -module. Mazur conjectured that it is a torsion -module, and this was
proved in [22] (the case with complex multiplication is due to Rubin).
2.1.4. Characteristic ideals. For a finite abelian group (for example, for the ideal
class group), the most important invariant is its order. For an Iwasawa module like
X, the most important invariant is its characteristic ideal. 
Recall that a finite abelian group M is isomorphic to a finite direct sum ni=1 Z/(ai )
for non-zero integers  an1 , . . . , an , and the order (M) of M is characterized by the
equality ((M)) = i=1 ai of ideals of Z.
Now let R be a commutative ring which is isomorphic to a finite product of
copies of Zp [[T ]], and let M be a finitely generated torsion R-module. Then there
342 Kazuya Kato

are 
non zero-divisors a1 , . . . , an of R and an injective homomorphism of R-modules
n
h: i=1 R/(ai ) → M withfinite n cokernel.
 Define the characteristic ideal Char(M)
of M as the principal ideal i=1 ai of R. Then Char(M) is independent of the
choices of a1 , . . . , an and h as above.

2.2. Zeta side

2.2.1. Assume that we are in Case I. We review the p-adic Riemann zeta function.
Let κ : Gal(Q(ζp∞ )/Q) −→ Zp× be the cyclotomic character, which is an iso-
κ(σ )
morphism characterized by σ (ζpn ) = ζpn (σ ∈ Gal(Q(ζp∞ )/Q), n ≥ 1). For
an even integer r, the homomorphism Gal(Q(ζp∞ )/Q) → Zp× ; σ → κ(σ )r factors
through G, and we denote the induced homomorphism G → Zp× by κ r .
For a commutative ring R, the total quotient ring is defined by

Q(R) = ab | a, b ∈ R, b is a non zero-divisor .
If R is an integral domain, Q(R) is the field of fractions of R.
The p-adic Riemann zeta function ξ is the unique element of Q() satisfying the
following conditions (1) and (2):
(1) (1 − σ )ξ ∈  for any σ ∈ G.
(2) For any even integer r > 0, the ring homomorphism  → Zp induced by
κ r : G → Zp× sends (1 − σ )ξ for σ ∈ G to (1 − κ r (σ ))(1 − pr−1 )ζ (1 − r).
2.2.2. Comparison with complex analysis. The Riemann zeta function lives on the
complex plane, but the p-adic Riemann zeta function lives in Galois theory. Though
the complex plane and Galois theory are very much different, zeta can fly between
these different worlds.
The ring  is the p-adic analogue of the ring A of all holomorphic functions on
the complex plane. The total quotient ring Q() is the p-adic analogue of the field
Q(A) of all meromorphic functions on the complex plane.
The p-adic Riemann zeta function ξ ∈ Q() is the p-adic analogue of ζ (1 − s) ∈
Q(A). For an even integer r, the ring homomorphism  → Zp ; σ  → κ r (σ ) (σ ∈ G)
is the p-adic analogue of the ring homomorphism A → C; f → f (r). Let
I (A) = {f ∈ A | f (0) = 0}, I () = Ker ( → Zp ; σ → 1 (σ ∈ G)).
Then I () is a principal prime ideal of  and is generated by 1−σ for all σ ∈ G. The
fact I ()ξ ⊂  (2.2.1, (1)) is the p-adic analogue of the fact that I (A)ζ (1 − s) ⊂ A.
The understanding of the ideal I (A)ζ (1 − s) = (sζ (1 − s)) of A is equivalent
to the understanding of zeros of ζ (s) counting multiplicity. Riemann’s hypothesis
is a beautiful statement about zeros of ζ (s), but it is not yet proved. On the other
hand, for the p-adic side, there is also a beautiful statement about the ideal I ()ξ
of . It is Iwasawa’s main conjecture introduced in 2.3.1 below, which was proved
by Mazur–Wiles [32].
Iwasawa theory and generalizations 343

2.2.3. Assume that we are in CaseII. The −s

complex L-function L(E, s) of E is defined
as the Euler product L(E, s) = P ( )−1 for (s) > 3/2, where ranges over
all prime numbers and P (T ) is a polynomial described as follows. If E has good
reduction at , P (T ) = 1 − a T + T 2 with a = 1 + − (E(F )). If E has bad
 1 − T−s, or 1 + T , or 1. We can write L(E, s) in the
reduction at , P (T ) is either
form of a Dirichlet series ∞ n=1 an n .
By the solution ofthe Shimura–Taniyama conjecture by Wiles, Breuil, Conrad,
Diamond, Taylor [6], ∞ n
n=1 an q is the q-expansion of a cusp form of weight 2. From
this we can deducethat the L-function of E twisted by a Dirichlet character χ defined
as L(E, s, χ ) = ∞ n=1 na χ(n)n −s has an analytic continuation to the whole of C as

a holomorphic function.
The p-adic L-function Lp (E) of E is defined in [1/p]. A difference with the
case of the Riemann zeta function is that L(E, r) = 0 for all r ∈ Z≤0 and these
values are not useful for the p-adic interpolation. The element Lp (E) in [1/p] is
characterized in the following way:
×
For any n ≥ 1 and any Dirichlet character χ : (Z/pn Z)× → Q , the ring
×
homomorphism  → Qp induced by G → Qp ; σ  → χ(σ ) sends Lp (E) to
L(E, 1, χ)/((period) × (local term)). Here we regard χ as a character of G via
the cyclotomic character. For the definitions of (period) and (local term) see [30], for
example.

2.3. Main conjecture

2.3.1. In Case I, the Iwasawa main conjecture proved by Mazur–Wiles is stated as

I ()ξ = Char(X).

Here I () denotes Ker ( → Zp ; σ → 1 (σ ∈ G)) as in 2.2.2.

2.3.2. In Case II, the main conjecture formulated by Mazur is stated as

Lp (E) = Char(X).

(We recall that in Case II we assume that p is a good ordinary prime for E.)

2.3.3. The above conjecture of Mazur is now almost proved.

(1) Rubin [37]. If E has complex multiplication, then the conjecture is true.

(2) [22]. Assume E has no complex multiplication. Then there is n ≥ 0 such that
Char(X) divides p n Lp (E). This n can be taken to be 0 under some mild
assumptions. (Here “I divides J ” means J ⊂ I .)

(3) Skinner and Urban [41]. Here to my present knowledge, the existence of some
Galois representations associated to some automorphic forms on U (2, 2) is
344 Kazuya Kato

needed for the following result (but it seems that this existence will soon be
proven).

Lp (E) divides Char(X) under some mild assumptions.

Ideas of the proofs of these results are sketched in the subsections 2.4 and 2.5.
2.3.4. We give some remarks on what is known about the Birch and Swinnerton-Dyer
conjecture.
(1) In [25], Kolyvagin proved the following result.

If ords=1 L(E, s) ≤ 1, then ords=1 L(E, s) = rank (E(Q)) and X(E) is finite.

(2) If L(E, 1)  = 0, we can deduce from the main conjecture 2.3.2 that the ratio
of the left side and the right side in part (2) of the Birch Swinnerton-Dyer
conjecture stated in §1.5 is a rational number which is a p-adic unit.

(3) There is a p-adic analogue of the Birch and Swinnerton-Dyer conjecture ([30])
which states that
ords=1 Lp (E) = rank (E(Q)).
Here ords=1 Lp (E) is the order (valuation) of the image of Lp (E) in the local
ring of  at the prime ideal I () = Ker ( → Zp ; σ  → 1), which is a discrete
valuation ring.
From the above result 2.3.3 (2), we can obtain that

rank (E(Q)) ≤ ords=1 Lp (E).

However for the original Birch and Swinnerton-Dyer conjecture, we do not have
such general inequality, for the relation of ords=1 L(E, s) and ords=1 Lp (E) are not
yet determined (although they are conjectured to be equal). At present, we cannot
extend the above result (1) of Kolyvagin to the rank ≥ 2 case.1
2.3.5. It seems that zeta functions contain information about the structure of Iwasawa
modules which is finer than the characteristic ideals.
For example, assume that X is either /(ab) or /(a)⊕/(b) for some a, b ∈ .
Since the characteristic ideals of both cases are (ab), we may think that p-adic zeta
functions cannot tell which is the case. But in [28], Kurihara states the following
with a sketch of the proof: In Case I, if we consider not only the single p-adic
zeta function ξ ∈ Q(Zp [[Gal(Q(ζp∞ )+ /Q)]]) but also the p-adic zeta functions in
Q(Zp [[Gal(Q(ζNp∞ )+ /Q)]]) for all N which p-adically interpolate values of various
Dirichlet L-functions, then these p-adic zeta functions can tell which is the case.
1 Added in the proof. Skinner and Urban have obtained results for the rank ≥ 2 case. See their article in
Volume II of the Proceedings of this ICM.
Iwasawa theory and generalizations 345

For a commutative ring R and for an R-module M of finite presentation, the r-th
Fitting ideal of M is defined as follows. Take a presentation of M as the cokernel of
an R-homomorphism f : R m → R n . Then the r-th Fitting ideal of M is the ideal
of R generated by the determinants of all (n − r, n − r)-minors of the matrix f . This
is independent of the presentation of M. For example, the 0-th and the 1-st Fitting
ideals of the -module /(ab) are (ab) and , respectively, whereas the 0-th and
the 1-st Fitting ideals of /(a) ⊕ /(b) are (ab) and (a, b), respectively.
Kurihara [28] shows that for any r ≥ 0, the r-th Fitting ideal of X is determined by
the p-adic zeta functions in Q(Zp [[Gal(Q(ζNp∞ )+ /Q)]]) for varying N (his result
is more general and can treat totally real fields). Partial results are proved in [26]
and [27].

2.4. The modular form method. There are two proofs of the Iwasawa main conjec-
ture for cyclotomic fields. One is the original proof of Mazur–Wiles using modular
forms. The other is the proof of Rubin given later based on the method of Euler
systems of Kolyvagin (see [38] for example). These two methods in Case I are both
extended to Case II: The proofs of the results (1), (2) of 2.3.3 are by the Euler system
methods, and the proof of the result (3) is an extension of the method of Mazur–Wiles
(we will call a method of this type a modular form method).
In this subsection (resp. the next subsection), I sketch the ideas of the modular
form method (resp. Euler system method).
By their natures, the modular form method is used to prove the divisibility, “the
p-adic zeta function divides the characteristic ideal of the Iwasawa module”, and the
Euler system method is used to prove the converse divisibility. In Case 1, by the help
of the class number formula, any one divisibility implies the converse divisibility.

2.4.1. Riemann’s zeta function is regarded as the zeta function of a modular form
of GL1 . The method of Mazur–Wiles in Case I is to use modular forms of the bigger
algebraic group GL2 to prove the main conjecture for a modular form of GL1 . The zeta
function of an elliptic curve over Q is the zeta function of a modular form of GL2 . The
method of Skinner–Urban in Case II is to use modular forms of the bigger algebraic
group U (2, 2) to prove the main conjecture for a modular form of GL2 .

2.4.2. There are three key points (a)–(c) about the method of Mazur–Wiles.
(a) Riemann zeta values appear as constant terms of Eisenstein series.
In fact, for k even ≥ 4, the Eisenstein series Ek of weight k has the q-expansion
∞
Ek = ζ (1 − k)/2 + n=1 σk−1 (n)q
n.

Here σm (n) denotes the sum of d m for all divisors d of n.

(b) An eigen cusp form produces a two-dimensional irreducible p-adic represen-
tation of Gal(Q̄/Q).
346 Kazuya Kato

This is the theory of Eichler–Shimura and Deligne. In Langlands program, we

expect that Galois representations arise from modular forms of various algebraic
groups.
(c) The ideal class group is related to extensions of Galois representations with
finite coefficients.
For example, for r ∈ Z, there exists a non-trivial extension 0 → Z/pZ(r) → ? →
Z/p Z → 0 of representations of Gal(Q̄/Q) over Z/p Z which splits as a representation
of Gal(Q̄p /Qp ) and is unramified outside p if and only if the Galois module Cl(Q(ζp ))
contains (Z/pZ)(r). (This can be proved by class field theory.)

2.4.3. To see how we can relate Riemann zeta values to the minus parts of ideal class
groups by this method, we discuss simply how we can prove the “if part”, due to
Ribet [35], of the following theorem of Herbrand–Ribet: For k ≥ 2 even, the Galois
module Cl(Q(ζp )) contains (Z/pZ)(1 − k) if and only if p divides the numerator of
ζ (1 − k). In fact, this work of Ribet was a great hint for Mazur and Wiles in their
work [32]. The proof goes in the following way.
We may and do assume that 4 ≤ k ≤ p − 3 and k ≡ 0 mod (p − 1). If p divides
ζ (1−k), by 2.4.2 (a), Ek mod p has no constant term. This shows that Ek ≡ f mod p
for some eigen cusp form f . For example,
∞ 691 divides ζ (−11) and E12 ≡ mod 691
where is the eigen cusp form q n=1 (1−q n )24 . (This is Ramanujan’s congruence.)
The congruence f ∼ = Ek mod p tells that, by taking mod p of the 2-dimensional
p-adic representation of Gal(Q̄/Q) associated to f (2.4.2 (b)), we can obtain a 2-
dimensional representation of Gal(Q̄/Q) over Z/pZ which is a non-trivial extension
of the form 0 → (Z/pZ)(1−k) →? → Z/pZ → 0 having the properties in 2.4.2 (c).
Hence by 2.4.2 (c) above we have (Z/pZ)(1−k) ⊂ Cl(Q(ζp )) as Galois modules.

2.4.4. Skinner and Urban extended this approach to Case II. In place of 2.4.2 (a),
the zeta values L(E, 1, χ) appear in the constant terms of the Eisenstein series of
U (2, 2). In place of 2.4.2 (b), Galois representations associated to modular forms
of U (2, 2) are used. In place of 2.4.2 (c), by the definition of Selmer group, an
element of the Selmer group Sel(E/K) of order n corresponds to an extension 0 →
Ker(n: E(K) → E(K)) →? → Z/nZ → 0 of representations of Gal(K/K) over
Z/nZ.

2.5. The Euler system method

2.5.1. It seems that zeta functions appear in this world showing three different shapes.
First, they appear in the complex analytic world as complex analytic zeta functions,
and are defined usually as Euler products. Secondly, they appear in the p-adic world as
p-adic zeta functions. Now thirdly, they appear in the arithmetic world, as “arithmetic
incarnations of zeta” such as cyclotomic units, elliptic units, Heegner points, and
Beilinson elements. These incarnations are arithmetic objects which are related to
zeta values in many ways. They form a family which has the property of being an
Iwasawa theory and generalizations 347

Euler system ([38]). I do not discuss the property of being an Euler system, but it is
an arithmetic reflection of the fact that these incarnations are related to special values
of Euler products.
For example, we call 1−α (α a root of 1, α = 1) a cyclotomic unit. The logarithms
of cyclotomic units are related to complex zeta values as

a∈(Z/nZ)× χ(a) log(|1 − ζN |) = −2L (0, χ)
a

for any even Dirichlet character χ, where ζN = exp(2πi/N).

Furthermore, as was discovered by Kummer and Iwasawa, cyclotomic units are
related p-adically to zeta values ζ (r) for r ∈ Z, r ≤ 0, and furthermore produce the
p-adic Riemann zeta function in a certain p-adic way.
Because the arithmetic incarnations of zeta are arithmetic in nature, they can play
an important role in the study of arithmetic properties of zeta values. Cyclotomic
units are important in classical Iwasawa theory, elliptic units in Iwasawa theory of
imaginary quadratic fields and in Iwasawa theory of elliptic curves with complex
multiplication (as in [10], [37]), Heegner points in anti-cyclotomic Iwasawa theory of
elliptic curves (as in [25], [3]), and Beilinson elements in cyclotomic Iwasawa theory
of elliptic curves.
2.5.2. The results 2.3.3 (1), (2) were obtained by using elliptic units and Beilinson
elements, respectively. The methods are similar to the second proof of Iwasawa’s
main conjecture given by Rubin using cyclotomic units.
In these methods, the key points are that (a) these incarnations of zeta are related
p-adically to p-adic zeta functions, and that (b) they form Euler systems.
I will explain the methods in Case I first, and then tell about Case II.
2.5.3. As is well known in classical Iwasawa theory thanks to deep works of Iwasawa,
the Iwasawa main conjecture introduced in 2.3.1 is equivalent to

Char(U/z) = Char(C + ).

Here U (resp. C + ) is the projective limit of

(Z[ζpn , 1/p]+ )× ⊗Z Zp (resp. Cl(Q(ζpn )+ )(p))

with respect to norm maps ((p) denotes the p-primary part), and z ∈ U is the system
of cyclotomic units ((1 − ζpn )(1 − ζp−1 n ))n . To rewrite Iwasawa’s main conjecture
2.3.1 in this form, we replace the p-adic zeta function in the conjecture 2.3.1 by z
using the strong relation (2.5.2 (a)) between them, and replace X by C + using the fact
that C + is a quotient -module of X by class field theory. Note that in this rewritten
form of Iwasawa’s main conjecture, since the p-adic zeta function was replaced by
the arithmetic incarnation, both sides became arithmetic sides.
We can prove that Char(C + ) divides Char(U/z) by the method of Euler system
(Kolyvagin’s idea [25]; Thaine [42] had partially a similar idea) using the Euler system
348 Kazuya Kato

property of cyclotomic units (2.5.2 (b)). The method here is simply speaking as in
2.5.4 below. This divisibility implies the divisibility Char(X) | I ()ξ and gives the
proof of Iwasawa’s main conjecture.
2.5.4. The proof of Char(C + ) | Char(U/z) by the Euler system method is sketched
roughly as follows.
n
Let h : +
i=1 /(ai ) → C be an injective -homomorphism with finite cok-
ernel. The -module U is isomorphic to , and hence U/z /(μ) for some
μ ∈ . Our task is to prove that ni=1 ai divides μ. For 1 ≤ i ≤ n, denote the stan-
dard i-th generator in ni=1 /(ai ) by ei . Then by modifying cyclotomic units using
their Euler system property, for each m ≥ 1, we can construct a non-zero element
α of Q(ζpm )+ such that there is a non-zero fractional ideal of Q(ζpm )+ whose class
coincides with the image of h(e1 ) and which is sent by the action of μ to the principal
ideal (α). This shows that μ kills h(e1 ), and hence a1 | μ. Put μ = μ1 a1 with
μ1 ∈ . By a similar method, we can show that μ1 kills h(e1 ⊕ e2 )/ h(e1 ).
Hence a2 | μ1 . Put μ1 = μ2 a2 with μ2 ∈ . Then we can show that  μ2 kills
h(e1 ⊕ e2 ⊕ e3 )/ h(e1 ⊕ e2 ). By repeating this, we have μ = μn ni=1 ai
with μn ∈ .
For the precise description of the method see [38].
2.5.5. In Case II we can use similar methods to prove that X is -torsion and to prove
2.3.3 (1), (2). I describe rough ideas about 2.3.3 (2).
Beilinson elements are defined in [2] as elements of K2 of modular curves (K2
is a group which appears in algebraic K-theory). Via the Weil parametrization of an
elliptic curve E over Q, and via the Archimedean regulator maps of K2 (analogues of
logarithms for the multiplicative group), they are related to L (E, 0, χ). Furthermore,
we can prove that they are related p-adically to the values L(E, 1, χ) and to the p-adic
zeta function Lp (E).
In Case I, the -module U (resp. C + ) is isomorphic to the inverse limit of the
étale cohomology groups H i (Z[ζpn , 1/p]+ , Zp (1)) with i = 1 (resp. i = 2). In Case
II, in place of U (resp. C + ), we use the inverse limit Hi of the étale cohomology
groups H i (Z[ζpn , 1/pN], Tp E) with i = 1 (resp. i = 2), where N is the conductor
of E and Tp E is the p-adic Tate module of E. By using the strong relation of
Beilinson elements and Lp (E) (2.5.2 (a)), we can show that the fact “X is -torsion
and Char(X)|Lp (E)” is equivalent to the fact that “H1 /z and H2 are -torsion and
Char(H2 ) | Char(H1 /z)” where z ∈ H1 is an element which comes from Beilinson
elements. In the case E has no complex multiplication, the last fact is proved by
arguments similar to 2.5.4 using the Euler system property of Beilinson elements
(2.5.2 (b)). (In this method, we make also a heavy use of the result by Rohrlich that
Lp (E) is a non zero-divisor of [1/p].)
2.5.6. We expect that the Euler system method works for any motives. However, a
big difficulty is that at present we can find only few arithmetic incarnations of zeta,
though we have found a lot of zeta functions.
Iwasawa theory and generalizations 349

3. Non-commutative Iwasawa theory

For an elliptic curve E over a number field F without complex multiplication, the field
obtained by adjoining all pn -torsion points of E to F for all n is a Galois extension
of F whose Galois group is isomorphic to a subgroup of GL2 (Zp ) of finite index (by
a theorem of Serre) and hence is highly non-commutative. It is natural to look for a
non-commutative Iwasawa theory for E.
In this section, I introduce the ideas in the papers [43] and [8] on non-commutative
Iwasawa theory, and discuss related problems.
In this section, we consider two cases I, II. In Case I, we consider non-commuta-
tive Iwasawa theory of totally real fields. In Case II, we consider non-commutative
Iwasawa theory of elliptic curves.
Fix a prime number p and assume p  = 2 for simplicity. Both in the cases I, II,
let F be a number field, and let F∞ be a Galois extension of F satisfying the following
conditions (i)–(iii).
(i) The Galois group G = Gal(F∞ /F ) is a p-adic Lie group.
(ii) There are only finitely many primes of F which ramify in F∞ .
(iii) F∞ contains the cyclotomic Zp -extension F cyc of F .
In Case I, we assume further that F∞ is totally real, and that F∞ contains F (ζp∞ )+ .
In Case II, we assume that we are given an elliptic curve E over F which is of
good ordinary reduction at any prime of F lying over p.
Let H = Gal(F∞ /F cyc ) ⊂ G, so that H is a closed normal subgroup of G with
G/H Zp . In Case I, fix a finite set  of primes of F which contain all primes of F
lying over p and all primes of F which ramify in F∞ .

3.1. Arithmetic side

3.1.1. Let  = Zp [[G]]. By a -module, we mean a left -module. We define a
-module X as follows.
In Case I, let X = Gal(M/F∞ ) where M is the largest abelian pro-p extension of
F∞ which is unramified outside .
In Case II, let X = Hom (limF Sel(E/F ), Qp /Zp ) where F ranges over all
−
→
finite Galois extensions of F contained in F∞ .
Then in both cases X is a finitely generated -module.
3.1.2. In Case I, X is a torsion -module (that is, each element of X is killed by some
non zero-divisor of ). In Case II, a natural conjecture is that X is -torsion.
More precisely:
Conjecture 3.1.3. In Case I, X is finitely generated as a Zp [[H ]]-module.
Conjecture 3.1.4. ([8] 5.1.) In Case II, X/X(p) is finitely generated as a Zp [[H ]]-
module, where X(p) denotes the part of X killed by some power of p.
350 Kazuya Kato

Let F be a finite extension of F contained in F∞ such that F∞ /F is a pro-p

extension. In Case I, 3.1.3 is true if the μ-invariant of the cyclotomic Zp -extension
of F is zero (it is conjectured by Iwasawa that the μ-invariant of the cyclotomic
Zp -extension of any number field is zero). In Case II, 3.1.4 is true if E is isogenous
over F to an elliptic curve E such that the μ-invariant of E for the cyclotomic
Zp -extension of F is zero.

3.2. Zeta side

3.2.1. Where do the p-adic zeta functions in non-commutative Iwasawa theory live?
Non-commutative rings are not good places to live for complex zeta functions defined
as Euler products, for the meaning of Euler product becomes unclear by the non-
commutativity of the product. Though p-adic zeta functions are not Euler products,
this gives us the impression that any p-adic zeta function cannot live in the non-
commutative .
However, for a non-commutative ring R, the non-commutativity of the product in
R × vanishes under the canonical homomorphism R × → K1 (R).

3.2.2. Recall that for a ring R, K1 (R) is defined to be the abelian group

GL(R)/[GL(R), GL(R)],

 T 0  GL(R) =
where n GLn (R) in which GLn (R) is embedded in GLn+1 (R) by T →
0 1 .

3.2.3. As is explained below, in Case I (resp. Case II) we expect that the p-adic zeta
¯ = O[[G]] where O
function lives in K1 of a certain localization of  (resp. of 
is the completion of the valuation ring of the maximal unramified extension of Qp )
defined as follows. (Note that the theory of localizations of non-commutative rings
is not so simple as that for commutative rings.) Define

S = {s ∈  | /s is a finitely generated Zp [[H ]]-module}, S∗ = n≥0 p

n S.

Then S and S ∗ are multiplicative subsets of , consisting of left and right non zero-
divisors and satisfying the left and right Ore conditions ([33]) in the localization
theory of non-commutative rings. Hence we have rings S = S −1  = S −1 by
inverting elements of S, and also S ∗ = S [1/p]. In the case that H is finite and G
is commutative, S ∗ = Q().
Let NH (G) (resp. MH (G)) be the category of finitely generated -modules M
such that M (resp. M/M(p)) is finitely generated as a Zp [[H ]]-module. For a finitely
generated -module M, M is S-torsion if and only if it belongs to NH (G), and it is
S ∗ -torsion if and only if it belongs to MH (G).
We have similarly multiplicative subsets S and S ∗ = n≥0 Spn of  ¯ and local-
izations  ¯ , ¯ ∗.
S S
Iwasawa theory and generalizations 351

3.2.4. We expect that the p-adic zeta function in non-commutative Iwasawa theory
is characterized by the relation of its special values with complex zeta values. For an
element f of K1 (S ∗ ) and for a continuous representation ρ : G → GLn (Cp ) where
Cp is the completion of the algebraic closure of Qp , the value f (ρ) ∈ Cp ∪ {∞}
is defined in [8]. I do not give here the precise general definition, but a basic fact
is that if f is the image of an element a of  ∩ (S ∗ )× , the value of f at ρ is
equal to det(ρ(a)), where ρ(a) denotes the image of a under the ring homomorphism
 → Mn (Cp ) induced by ρ.
We can define similarly the value f (ρ) ∈ Cp ∪ {∞} of an element f of K1 ( ¯ ∗)
S
at a continuous representation ρ : G → GLn (Cp ).

Now we state our conjecture for the existence of the p-adic zeta function in non-
commutative Iwasawa theory.

Conjecture 3.2.5. (1) In Case I, there is an element Lp (F∞ /F ) ∈ K1 (S ) (called

the p-adic zeta function for the extension F∞ /F ) having the following property.
For any even integer r ≥ 1 and any representation ρ of G which factors through a
finite quotient Galois group, the value of Lp (F∞ /F ) at the representation ρκ r of G
is the value L (1 − r, ρ) of the Artin L-function L (s, ρ). (The subscript  means
that the Euler factors at primes in  are removed from the Euler product.)
(2) In Case II, there is an element Lp (E, F∞ /F ) ∈ K1 ( ¯ ∗ ) (called the p-adic
S
zeta function of E for the extension F∞ /F ) having the following property.
For any representation ρ of G which factors through a finite quotient Galois group,
the value of Lp (E, F∞ /F ) at ρ is L(E, 1, ρ)/(( period) × (local term)).
Here L(E, s, ρ) is the twist of L(E, s) by ρ. The definitions of (period) and (local
term) are given explicitly in [8] in the case F = Q. In the case F = Q, the definitions
are given in [16] but they are not so explicit.

3.2.6. The idea that “zeta functions can live in K1 of non-commutative group rings”
may be true also for Selberg zeta functions. Such idea appears in the paper of Bass [1]
for Ihara–Selberg zeta functions (Selberg zeta functions for p-adic fields). I learned
about the work [1] from K. Hashimoto.
For a discrete co-compact torsion-free subgroup  of SL2 (R)/{±1} and for a
finite dimensional representationρ :  → GLn (C), the Selberg zeta function of 
with twist by ρ is defined to be γ det(1 − ρ(γ )N(γ )−s )−1 ((s)  0) where γ
ranges over all “prime elements” of  taken mod conjugacy. (Prime element means
an element which is not an n-th power of any element for any n ≥ 2. N(γ ) > 1 is
the absolute value of one of the eigen values of γ .)
I am not sure if it is reasonable to define the Selberg zeta function with values
in K1 (L1 ()), where L1 () is the algebra of L1 -functions on  with the product
structure by convolution, as follows.
 −s −1
ζ (s) = γ (1 − γ N(γ ) ) .
352 Kazuya Kato

(The right-hand side is regarded as an element of K1 (L1 ()).) For a finite dimensional
unitary representation ρ :  → GLn (C), the ring homomorphism L1 () → Mn (C)
induced by ρ defines a homomorphism K1 (L1 ()) → K1 (Mn (C)) = C× which
sends ζ (s) to the Selberg zeta function of  with twist by ρ.
If SL2 (R)/{±1} is replaced by SL2 (Qp )/{±1}, an analogue of the above ζ (s) is
considered in Bass [1].

3.3. Main conjecture. We assume for simplicity that G is p-torsion-free in this

subsection.
3.3.1. The localization theory in K-theory [46] gives exact sequences
∂
K1 () → K1 (S ) −→ K0 (NH (G)) → 0,
∂
K1 () → K1 (S ∗ ) −→ K0 (MH (G)) → 0.
Here for C = NH (G) or MH (G), K0 (C) denotes the Grothendieck group of C, which
is an abelian group defined by the following generators and relations. Generators:
[M] for objects M of C. Relations: [M] = [M ] + [M ] if M, M , M are objects of
C such that there is an exact sequence 0 → M → M → M → 0. In the above first
(resp. second) exact sequence, ∂ satisfies ∂(s) = [/s] for s ∈ S (resp. s ∈ S ∗ ).
In the situation of §2 in which G is commutative, MH (G) coincides with the
category of all finitely generated torsion -modules, and for any finitely generated
torsion -module M and for any generator f of Char(M), we have ∂(f ) = [M] in
K0 (MH (G)). Hence [M] can play the role of the characteristic ideal in §2.
The following is the main conjecture. ([43], [8]. Generalizations to motives are
explained in the complementary paper [16] to [8].)
Conjecture 3.3.2. (1) In Case I, the homomorphism ∂ : K1 (S ) → K0 (NH (G))
sends Lp (F∞ /F ) to [X] − [Zp ].
(2) In Case II, if f is an element of K1 (S ∗ ) such that ∂(f ) = [X], we have
Lp (E, F∞ /F ) ≡ f modulo the image of K1 () ¯ → K1 ( ¯ ∗ ).
S

3.4. Complements
3.4.1. In Case I, a main conjecture was formulated and studied by Ritter–Weiss ([39]
etc.) under the assumption that H is finite (H can have p-torsion).
3.4.2. For an elliptic curve E with super-singular reduction at p, it is not known how
to formulate p-adic zeta functions in non-commutative Iwasawa theory.
3.4.3. In history, studies of delicate properties of algebraic varieties motivated progress
in the theory of commutative rings. Similarly, I expect that via non-commutative Iwa-
sawa theory, delicate aspects in number theory motivate progress in the theory of non-
commutative rings. The structure theorem of torsion modules over non-commutative
Iwasawa type algebras by Coates–Schneider–Sujatha [9] is one such example.
Iwasawa theory and generalizations 353

3.4.4. An interesting aspect of non-commutative Iwasawa theory of elliptic curves is

the relative prevalence, compared to the cyclotomic theory, of global root numbers
equal to −1 (in the case of twists of an elliptic curve by self dual Artin characters of
certain non-commutative p-adic Lie extensions, see, for example, Dokchitser [14],
and Rohrlich [36]). This phenomenon has long been important in the study of Heegner
points on elliptic curves, and recently H. Darmon and Y. Tian have obtained the first
deep results about Heegner points in non-commutative Iwasawa theory of elliptic
curves ([13], [11]).
3.4.5. As in Huber–Kings [19], §3.3, we can expect that non-commutative Iwasawa
theory is strong enough to unify Iwasawa theories of all motives. This would imply
that there are many still unknown congruences between p-adic zeta functions of
different motives and also between modular forms of different algebraic groups.
In the rest of this section, assuming that G is isomorphic to a non-commutative
semi-direct product of two copies of Zp , I report some conjectural congruences be-
tween p-adic zeta functions in commutative Iwasawa theory which would be implied
by non-commutative Iwasawa theory. We can show conversely (Proposition 3.4.9,
which I learned from D. Burns) that in Case I, under the same assumption, the exis-
tence of p-adic zeta function and the main conjecture in non-commutative Iwasawa
theory are reduced to these conjectural congruences between p-adic zeta functions in
commutative Iwasawa theory.
3.4.6. Assume that G is isomorphic to a non-commutative semi-direct product of two
copies of Zp .
Then H Zp . Let e ≥ 1 be the integer such that H /[G, H ] is of order p e .
Let  = G/H and for n ≥ 0, let n ⊂  be the unique subgroup of  of index
p max(n−e,0) . Define commutative rings Rn and Rn ⊂ Q(Rn ) (n ≥ 0) as follows:
Rn = Zp [ζpmin(n,e) ][[n ]], and Rn is the local ring of Rn at the unique prime ideal of
height 1 containing p. In [23], homomorphisms

θ = (θn )n : K1 (Zp [[G]]) → Rn× , θ = (θn )n : K1 (Zp [[G]]S ) → (Rn )×

n≥0 n≥0

such that θ induces θ are defined. Furthermore subgroups

⊂ Rn× ,  ⊂ (Rn )×
n≥0 n≥0
 ×

such that  = n≥0 Rn ∩  are defined by using certain congruences.
The congruences defining  and  are rather involved, and so for simplicity, I
introduce them here only in thecase e = 1. 
Let (an )n be an element of n≥0 Rn× (resp. n≥0 (Rn )× ). Let bn = an Nn (a0 )−1
where Nn is the norm map

Zp [[]]× → Zp [[n ]]× (resp. (Zp [[]](p) )× → (Zp [[n ]](p) )× ).

354 Kazuya Kato

Let cn = bn ϕ(bn−1 )−1 for n ≥ 1 where ϕ is the ring homomorphism induced by the
p-th power homomorphism n−1 → n . Then in the case e = 1, (an )n belongs to 
(resp.  ) if and only if the following congruences are satisfied:
pn−1  n−1 
cn ≡ Nn (N i=1 ci ) mod p2(n−1) (ζp − 1) for any n ≥ 1

where N denotes the norm map R1× → Zp [[]]× (resp. (R1 )× → (Zp [[]](p) )× ).

Proposition 3.4.7 ([23]). (1) The map θ : K1 (Zp [[G]]) → n≥0 Rn× is injective
and induces an isomorphism K1 (Zp [[G]]) −→ .

(2) The image of θ : K1 (Zp [[G]]S ) → n≥0 (Rn )× is contained in  .
3.4.8. Assume that we are in Case I. For n ≥ 0, let Fn be the finite extension of F
contained in F cyc corresponding to the subgroup n of . Let Gn ⊂ G be the inverse
×
image of n in G. Then there is a one-dimensional representation χn : Gn → Q of
Gn of order pn whose restriction to H is still of order pn . The p-adic L-function ξn
of the totally real field Fn associated to the character χn belongs to Q(Rn ). The main
conjecture of Iwasawa theory of Fn proved by Wiles shows that
(1) (ξn ) = Char(Xn ) for n ≥ 1, and I (R0 )ξ0 = Char(X0 )
where Xn is the Iwasawa module of the Iwasawa theory of Fn associated to χn and
I (R0 ) is the kernel of R0 = Zp [[]] → Zp ; σ  → 1 (σ ∈ ).
I did not explain the definitions of θn and θn , but the maps θn have the following
properties (2) and (3).
(2) Let ξ be an element of K1 (S ). Then ξ has the property of the p-adic zeta
function Lp (F∞ /F ) stated in 3.2.5 if and only if θn (ξ ) = ξn for all n ≥ 0.
(3) If X belongs to NH (G) and f is an element of K1 (S ) such that ∂(f ) =
[X] − [Zp ], then (θn (f )) = Char(Xn ) for n ≥ 1, and I (R0 )θ0 (f ) = Char(X0 ).
If the p-adic zeta function Lp (F∞ /F ) ∈ K1 (S ) in non-commutative Iwasawa
theory exists, then by the above (2) and by Prop. 3.4.7 (2), (ξn )n should be contained
in  . This shows that the p-adic L functions ξn in commutative Iwasawa theory
should satisfy special congruences between them (which are not proven yet).
Conversely, assume (ξn )n ∈  . From the above (1), we can deduce X ∈ NH (G).
Let f be an element of K1 (S ) such that ∂(f ) = [X] − [Zp ]. Then by (1) and (3),
we have (ξn ) = (θn (f )) for any −1
 n ≥ 0.× Hence un := ξn θn (f ) is a unit of Rn .
By Prop. 3.4.7 (2), (un )n ∈ n≥0 Rn ∩  = . Hence by Prop. 3.4.7 (1),
(un )n comes from an element u of K1 (). By (2), uf is the p-adic zeta function
of F∞ /F in the non-commutative Iwasawa theory (which we were looking for), and
∂(uf ) = [X] − [Zp ]. This proves
Proposition 3.4.9. Assume that we are in Case I, and assume that G is non-commu-
tative and is a semi-direct product of two copies of Zp . If the family (ξn )n≥0 of p-adic
Iwasawa theory and generalizations 355

zeta functions in commutative Iwasawa theory belongs to  (i.e. satisfies special

congruences), then the p-adic zeta function for F∞ /F in non-commutative Iwasawa
theory exists and the main conjecture in non-commutative Iwasawa theory for F∞ /F
is true.
From §2 we can have the idea that “the proofs of the main conjectures in com-
mutative Iwasawa theory will be obtained by the modular form method and the Euler
system method as in §2”. The author learned from D. Burns not only Proposition 3.4.9
but also the following idea: “the proofs of the main conjectures in non-commutative
Iwasawa theory might not be at infinite distance, but might be deduced from the main
conjecture in commutative Iwasawa theory plus special congruences between p-adic
zeta functions in commutative Iwasawa theory”.

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Department of Mathematics, Kyoto University, Sakyo, Kyoto, Kyoto 606, Japan

E-mail: kzkt@math.kyoto-u.ac.jp